1
An orientation to CIDA’s
approaches to programming
with its development partners
2
Many
inputs – but
what are
the results?
Why do
we talk
about
RBM?
3
Brief History of RBM





Genesis of the Logical Framework (LFA, Zopp) – 1968
RBM - formally introduced in USAID and DFID 1990
CIDA introduces RBM in1994
Focus on Results – Millennium Development Goals
Global focus on RBM at a string of meetings starting in 2002
(Monterrey, Rome, Marrakech etc.)
 Paris Declaration 2005 – strengthening aid effectiveness:
 Harmonizing practices
 Alignment
 Changing “ownership” of aid activities
 Mutual accountability
 Accra 2008 – reinforces the focus on development results
 2009 - new UNDP focus on “managing for development results”
4
Integrating Performance
5
Integrating Programme /
Project Performance
Stakeholder
Engagement
Analysis &
Planning
Evaluating
RBM
Reporting
Budgeting
Monitoring
Implementation
6
Overall Objectives
• To provide partners with an opportunity to deepen
their own and CIDA’s understanding of respective
project proposals which it will be partnering
organizations on and
• To provide CIDA with an opportunity to orientate
partners on the approaches which CIDA takes to its
development programming with its partners.
• To work with partners to generate the documentation
required to process contribution agreements.
CIDA’s 2008 RBM Policy
Update
RBM policy update needed to make performance
management more (a) rigorous, (b) modern and (c)
pragmatic in order to:
• Standardize and provide better coherence in RBM terms,
definitions and methodology used in across the agency,
• Align RBM at CIDA with Canadian Government
approach, and
• Harmonize RBM at CIDA with the International Donor
Community
WHY
is Results Based
RBM@CIDA
Management a preferred
development planning,
implementation and reporting
approach?
It focuses on the impact of
interventions in the short, medium
and long term
9
“Results” in Day to Day Life
Inputs
Water
Salt, condiments
Cooking oil
Vegetables
Meat, fish
Firewood
Working time
Activities
Preparing the ingredients, cooking
the meal, serving the meal
Outputs
The sauce, the
main dish, the
meal
Outcome Result
Immediate (short-term),
Satisfied (after having
eaten this sauce, main dish
or meal)
Outcome Result
Medium- term effect,
improved physical
well-being (if I can
make sure I have a
balanced diet over
time)
Outcome Result
Long-term effect,
‘quality of life’ (if I can
ensure I have a
balanced diet for more
than 5 years)
10
Typically, governments, development
agencies and CSOs have focused their
attention on:
•inputs (what they spend),
•activities (what they do), and
•outputs (what they produce).
11
What is Missing?
The destination►When we simply focus on
inputs (spend), activities (do), and outputs
(goods and services produced) we are blind - we
don`t know our destination so we can’t see
when and where we have gone off course
12
Modern development management
requires planners, programmers,
financial officers and M&E specialists
to look beyond activities and outputs
to focus on:
actual results
13
Various Terminology
Used Around the World
TBS and
(1996-2008) CIDA (2008)
CIDA
Impact
Outcomes
USAID
NORAD
OECD
Ultimate
Outcome
Strategic
Objective
Goal
Impact
Intermediate
Outcomes
Intermediate
Result
Purpose
Outcomes
Immediate
Outcomes
Goal
(Impact)
Purpose
(short and
Medium term)
(Outcome)
Outputs
Project level
Intermediate
Result
Ouputs
Outputs
Outputs
Activities
Activities
Activities
Activities
Activities
(Process)
Outputs
Activities
DFID
14
Theory
Practice
RESULTS
PERFORMANCE
Results-Based
Management
15
What is a Result?
• A result is a describable or
measurable change in state that
is derived from a cause and
effect relationship.
– Source : RBM in CIDA - Policy Statement (2008)
16
Two Major Elements in
“Results”
CHANGE
Measurable
transformation
• In a group
• In an
organization
• In a society
• In a country
CAUSALITY
Cause and effect
relationship between
an action and the
results achieved – this
can be described as
the“If-then” logic.
17
Results-Based
Management
•
LOGIC MODEL
Defining realistic expected results, based on
appropriate analyses;
People are healthier in
region X.
Ultimate Outcome
Communities make better use of clean drinking water
in region X.
Intermediate
Outcomes
Communities have better access
to clean drinking water in region X.
Communities build their capacity
to maintain wells.
•
Clearly identifying program beneficiaries and
designing programs to meet their needs;
Monitoring progress towards results and
resources consumed, with the use of appropriate
indicators;
Outcomes
Resources trained
Wells built
•
Immediate
Communities build new wells
in region X.
Outputs
Resources in the region are trained
to maintain wells.
Activities
Inputs
Financial resources, human resources, technical resources
PMF
Result
Statements
from Logic
Model
Indicators
Baseline
Target
Data
Sources
Collection
Methods
Frequency
Responsibility
Ultimate
Outcome
Intermediate
Outcomes
•
•
Identifying and managing risks, while bearing in
mind expected results and the necessary
resources;
Increasing knowledge by learning lessons and
integrating them into decisions; and
Immediate
Outcomes
Outputs
Risk Management
Title
No.
Country/Region/
Team Leader
Budget
Duration
Institution
Risk Definition
Operational Risks
Op1
Op2
Implementation is
delayed due to …..
Add rows as needed
Risk Level
(Add columns as
needed)
From
Indicate
Program Investme
Risk
nt LM
Profile? Result
(Y/N)
Leveli
Mitigation needed
Risk owner
(Date1
(Date2) (Date3)
)
Y
PR
Renegotiate with governmnet……
Project Manager
……
Program
Manager
Financial Risks
Fin1 Funding may not be
harmonized with …
Fin2 Add rows as needed
Development Risks
•
Dev
1
Reporting on results achieved and the resources
involved
Natural disaster may
threaten CIDA
development results …
Dev Add rows as needed
2
Reputation Risks
Rep Canadian stakeholders
utati may publicly not support
on
program
Add rows as needed
18
19
Immediate
outcome
Intermediate
outcome
Ultimate
outcome
Development results
20
The Importance of Analysis
• The results chain should be informed by analysis
(gender, environment, social, political etc…)
• Ensure that gender equality results are identified at
outcome levels as required by policy
• Ensure that there is a logical connection through
activities, outputs and outcomes to support the
integration of cross-cutting themes (I.e., don`t just
stick them in the results)
21
Problem Tree Analysis
22
The Result Statement

A result statement outlines what a policy, program or investment is
expected to achieve. At CIDA, result statement = Outcome.

A result statement or Outcome describes the change stemming
from CIDA’s contribution to a development activity in cooperation with
others.
Different types of change (and each type has its own place in
the LM):
 Change in system, state
 Change in circumstances
 Change in behaviour or practices
 Change in functioning or performance
 Change in knowledge or awareness
 Change in skills or abilities
23
Language of Change
Results are about change ► for the better
• Change is signified by words such as:
Improved (health conditions)
Increased (income of local farmers)
Strengthened (capacity of local NGOs)
Reduced (vulnerability)
Enhanced (ability to apply RBM)
Promoted (engagement with stakeholders)
LM Example
ULTIMATE
OUTCOME

INTERMEDIATE
OUTCOMES

IMMEDIATE
OUTCOMES

OUTPUTS

ACTIVITIES
Improved health for women, men and children living in community X

Increased proper usage of safe drinking water by women, men and children in community
X.



Improved management of water, waste and sanitation infrastructure in community X


Increased equitable access to safe
Increased knowledge and awareness of the
drinking water for women, men, girls and importance and proper usage of safe drinking
boys living in community X
water among women, men, girls and boys in
community X
Increased ability of women in community X
to maintain wells
Increased knowledge and skills in waste
management and sanitation among female
and male workers of Regional Water
Authority

Public consultations on well location
conducted in community X with male
and female village decision makers,
including representatives from
vulnerable and marginalized groups.

Needs assessment conducted in
consultation with women and girls in
community X.

Needs assessment conducted in
consultation with the Regional Water
Authority officials and employees, both
male and female.

Awareness material, including material
appropriate for a non-literate audience,
developed in consultation with male and
female community members
Awareness campaigns conducted on the
Wells built in community X
importance and proper usage of safe drinking
water for women, men, girls and boys in
Existing wells rehabilitated in community community X
X

Conduct well building and rehabilitation
activities in community X

Conduct awareness campaigns
Training provided to women in community X
on maintenance of wells
TA in waste management and sanitation
provided to Regional Water Authority
employees, both women and men.


Provide training to women in community X on Provide TA in waste management and
maintenance of wells
sanitation to Regional Water Authority
25
Using the Logic Chain
• Ultimate Outcome: Change in State for
target population
• Intermediate Outcomes: Change in practice
and/or behaviour of target population
• Immediate Outcomes: Change in
knowledge, awareness or access (etc)
• Outputs: Complete activities (good and
services)
• Activities: What CIDA/partners do to
mobilize inputs and create outputs.
?
?
?
?
?
Integrating Rights
into RBM
POLITICAL
ECONOMIC
Built into
the Results
Framework
HUMAN
RIGHTS
SOCIAL
Gender
Environment
Labour
Disability
Children
Older People
Land
Food Security
Development
CULTURAL
27
Performance
Measurement Framework (PMF)
• Used to systemically plan the collection of relevant
data to assess and demonstrate progress made in
achieving expected results
• Ensures performance information is collected on a
regular basis
• Allows for real-time, evidence-based management
decision making
• Developed and monitored through consultation with
partners, other donors, local stakeholders and
sometimes beneficiaries
28
THE PERFORMANCE
MEASUREMENT FRAMEWORK
Title
RBM@CIDA
No.
Country/Region
EXPECTED
RESULTS
ULTIMATE
OUTCOME
Improved quality of life
for Canadian women,
men, girls and boys
INDICATORS
Programs are to
aim for three
indicators per
outcome, with a
mixture of
quantitative and
qualitative
information.
Level of health and
nutrition (by sex,
age groups, district)
Level of poverty
and income (by sex,
age groups, district)
Level of education
and literacy (by sex,
age groups, district)
INTERMEDIATE
OUTCOMES
Improved delivery of
quality services for
children and youth
IMMEDIATE
OUTCOMES
OUTPUTS
Team Leader
Budget
BASELINE
DATA
Children
under five
mortality
rate per
1,000=27.4
% (1993)
Population
below US$1
(PPP)day=3
0% (1992)
$65 million (2009)
2009 to 2014
FREQUENCY
RESPONSIBILITY
Annual
Periodic (e.g.
program
evaluation)
Who is responsible
on behalf of CIDA
to bring this
information
together and
analyze it?
TARGETS
DATA
SOURCES
DATA
COLLECTION
METHODS
What change
is the
programming
aiming for
and by
when?
Programs
are to
aim for
multiple
sources
per
indicator
How is this
information
collected and
analyzed by
CIDA or CIDA
investment?
People
(e.g.
Governme
nt
representa
tives, nonstate
actors)
Statistics
(e.g.
Demograp
hic and
Health
Survey
Report)
Program analyst
Duration
Performance Indicators
A performance indicator is a unit of measurement that specifies what is to be measured
along a scale or dimension but does not
indicate the direction or change.
Performance indicators are a qualitative or
quantitative means of measuring an output or
outcome, with the intention of gauging the
performance of a program or investment.
Performance indicators are neutral & do not
indicate directionality & do not embed a target.
30
Examples of Performance
Indicators
Quantitative (discrete
measures):
 number of,
 frequency of,
 ratio of,
 variance with,
 % of,
 etc.:
• Qualitative(experiential or
perception):










attitudes,
skills,
perceptions of,
quality of
level of (understanding),
beneficiary opinion,
extent of,
congruence with
presence of
etc.:
31
Gender Sensitive Indicators
• Measure the gender gaps and inequalities you
are seeking to address
• Points to changes is the status and roles of
women and men over time
• Requires the collection of data disaggregated by
sex, age
• Women and men should be actively involved in
the planning process and selection of indicators
that make sense
Performance Indicator
vs. Target vs. Result
Often there is confusion between results, performance indicators, and targets
 Results: are precise statements of what is to be accomplished:
Increased literacy among groups X and Y.
 Performance indicators: specify exactly what is to be
measured along a scale or dimension, but do not indicate the
direction of change
Literacy rate, level of knowledge
 Targets: specify a particular value for an indicator to be
accomplished by a specific date in the future
Total literacy rate to reach 85% among groups X and Y by
the year 2010
33
Results Based Budgeting
BUDGETING
REPORTING
RBB is an integral part of the RBM cycle
Results-based
implementation
Results based
monitoring,
evaluation and
reporting
Results-based
costing and
budgeting
Results-based
planning
35
•Project and
Programme
Results
•Human and
Organisational
Results
•Finance and
resourcing
results
through RBB
Operations
Planning
Programming
and Implementation
Costing &
Budgeting
IT systems
Capacity and
Organisational
Development
Knowledge
Management
Performance
Management
Monitoring &
Evaluation
•Performance
&
Sustainability
Results
36
Results Based Budgeting
(RBB)
A results-driven budgeting process in which:
 Programme formulation and resources justification
involve a set of predefined objectives, expected
results, outputs, inputs and performance indicators
which constitute a ‘logical framework’;
 Expected results justify resource requirements, which
are derived from — and linked to - outputs to be
delivered, with a view to achieving such results; and
 Actual performance in achieving results is measured
by predefined performance indicators
37
Results Based Budgeting
“Results-based budgeting (RBB) is about
formulating budgets that are driven by a
number of desired results which are
articulated at the outset of the budgetary
process, and against which actual
performance is measured at the end of the
period.”
38
Traditional Budgeting Framework
Outcomes
Inputs
What we invest
Results directly linked
to the budgeting
approach
Activities
Outputs
What we do
Budgeting approach focuses on
costing activities / deliverables
39
Costing Results
Long-term
Goal
(Impact)
Can we cost
for long-term,
widespread
improvement
in society?
Outcomes
Can we cost
for the effects
or behavior
changes
resulting from
program
outputs?
Costed Results
Outputs
Costing the
products
and services
used to
simulate the
achievement
of results
Activities
Inputs
Costing the
utilization
of resources
to generate
products and
services
Costing
resources
committed
to program
activities
Costed Implementation
Traditional Budgets
Results-based budgets40
Results Based Budgeting Approach
• Outputs
• Activities
Inputs
Intermediate
Outcomes
• Change in
behaviour
• Performance
indicators
• Changes in
practice
• Performance
indicators
Intermediate
Outcomes
Ultimate
Outcomes
• Changes in
state
• Performance
indicators
Old Budgeting Focus
New Budgeting Focus
41
Risk Management Process
1. Risk Identification
Feedback
•Environment scanning
•Partner collaboration
•Selecting key risk areas
5. Evaluation
•Improving the process
•Organizational learning
•Performance reporting
4. Monitoring
•Decision-making
•Adjusting
•Performance reporting
2. Risk Assessment
•Communications strategy
•Gender considerations
•Stakeholder consultation
•Accountabilities
•Impact and likelihood
•Risk ranking
•Risk tolerance
3. Risk Response
•Determining options
•Mitigation options
•Implementing
42
CIDA’s Key Risk Areas
• Op1: Human resources
• Op2: Performance mgt
• Op3: Information systems
Operational
Risks
Financial
Risks
Development
Risks
• Fin1: Funding
• Fin2: Fiduciary
• Fin3: Instrument
•
•
•
•
•
Dev1: Strategic
Dev2: Socio-political
Dev3: Inst capacity
Dev4: Modality
Dev5: Disasters, Environment,
disease
43
Typical Risk Matrix
44
Risk Register
Purpose of the Risk Register:
A risk register lists all the identified risks, the
results of their analysis and a summary of
risk response strategies. The risk register
should be continuously updated and
reviewed over a regular reporting schedule
for the length of the project.
45
Elements of a Risk Register
• Risk definition
• Initial level of risk
• Risk levels through the project life
cycle
• Risk response strategies
• Risk owner
46
Example
For Program
level only
Risk definition
Operational
1. There is a risk that …
2. … performance mgt..
Start
2010-03
Very Low
High
Date 2 Date 3
2010-06
Risk response
Owner
2011-01
Improve data collection …
Introduce new UN indicators
DO
Extended use of FRAU …
None needed at the moment.
D.Dir
Financial
-Risk 3
-Risk 4
Very High
Very Low
External factors
-Risk 5
-Risk 6
Low
Very High
Other outcome risks
-Risk 7
High
47
Concerns?
RBM
RBM
RBM
Questions?
Thank
You!
48
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